[Form 4] Ocean Park High Income ETF Insider Trading Activity

Rhea-AI Filing Summary

Alexander J. Weintraub, Senior Vice President and Chief Customer Officer of Duke Energy (ticker DUK), reported an insider sale of company common stock. On 08/19/2025 he disposed of 400 shares at a price of $121.64 per share. After the sale he beneficially owns 7,860 shares directly and an additional 2,550 shares indirectly through a 401(k) plan, which the filer describes as interests in an issuer stock fund. The Form 4 was submitted by an attorney-in-fact and discloses routine executive stock sales rather than derivative or option activity.

Positive

• Transparent disclosure of insider sale with clear post-transaction holdings
• No derivative or complex transactions were reported, simplifying investor interpretation

Negative

• None.

Insights

Financial Analyst

TL;DR A routine executive sale of 400 Duke Energy shares reduces direct holdings modestly and appears non-material to company fundamentals.

The reported sale of 400 shares at $121.64 is small relative to total outstanding shares and to the executive's remaining direct holding of 7,860 shares. There is no associated derivative activity reported and the indirect holdings via a 401(k) remain unchanged. For investors, this filing signals a routine insider liquidity event rather than corporate news affecting operations or financial outlook.

Corporate Governance Expert

TL;DR Disclosure is timely and standard; transaction appears consistent with normal insider reporting and 401(k) holdings.

The Form 4 identifies the reporting person, role, and a straightforward sale transaction with clear post-transaction beneficial ownership counts. The use of an attorney-in-fact to sign is disclosed. No indications of unusual trading patterns, option exercises, or related-party transactions are present in the filing text provided.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Weintraub Alexander J.

(Last) (First) (Middle)

525 S. TRYON STREET

(Street)

CHARLOTTE NC 28202

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Duke Energy CORP [ DUK ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	SVP, Chief Customer Officer

3. Date of Earliest Transaction (Month/Day/Year)
08/19/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	08/19/2025		S		400	D	$121.64	7,860	D
Common Stock								2,550	I	By 401(k)(1)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents interests in an issuer stock fund.

Remarks:

	David S. Maltz, attorney-in-fact for Alexander J. Weintraub	08/21/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

What did Alexander J. Weintraub sell according to the Form 4?

He sold 400 shares of Duke Energy common stock at $121.64 per share on 08/19/2025.

How many Duke Energy shares does Weintraub own after the sale?

He beneficially owns 7,860 shares directly and 2,550 shares indirectly through a 401(k) issuer stock fund.

Does the Form 4 report any option exercises or derivative transactions?

No. The filing reports only a non-derivative sale of common stock and indicates no derivative securities activity.

Who signed the Form 4 on behalf of the reporting person?

The Form 4 was signed by David S. Maltz, attorney-in-fact for Alexander J. Weintraub.

Is the reported sale likely material to Duke Energy (DUK)?

Based on the filing, the sale appears routine and not material to the company's financial condition or operations.